Mark A. Thomas

ROOT WEALTH MANAGEMENT

Lafayette, LA

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CRD#: 1513398

Professional summary

Mark Alan Thomas SR, CFP®, who also goes by Mark Alan Thomassr, is a registered financial advisor currently at ROOT WEALTH MANAGEMENT located in Lafayette, Louisiana.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Mark has worked at 5 firms and has passed the Series 63, Series 65, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Alan Thomassr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Thomas SR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

July 1, 2024 - Present

ROOT WEALTH MANAGEMENT

RIA

CRD#: 329683

Lafayette, LA

Past

March 27, 2014 - May 15, 2024

MARK THOMAS, LLC

RIA

CRD#: 170609

LAFAYETTE, LA

Past

September 30, 2004 - February 27, 2014

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

December 4, 1986 - June 14, 1994

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CRD#: 14367

Past

July 7, 1986 - December 15, 1986

FSC SECURITIES CORPORATION

CRD#: 7461

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(7/26/2024)

IAR

Louisiana
(7/1/2024)

IAR

Texas
(7/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/15/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/7/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 9/29/2004

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Current Firm

ROOT WEALTH MANAGEMENT

ROOT WEALTH MANAGEMENT | ROOT WEALTH MANAGEMENT LLC

CRD#: 329683 / SEC#:

Georgia

Registered Investment Advisory firm - (3/13/2024 Approved)

Louisiana

Registered Investment Advisory firm - (4/23/2024 Approved)

Texas

Registered Investment Advisory firm - (7/17/2024 Approved)

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Contact information

Main Address

Decatur, GA

Mailing Address

Phone number

(404) 445-5745

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	81
AUM (Assets Under Management)	$ 20,146,288

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Mark A. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Thomas SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROOT WEALTH MANAGEMENT

MARK THOMAS, LLC

RAFFERTY CAPITAL MARKETS, LLC

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/15/2004

Series 65

Date: 10/7/1992

Series 6

Date: 9/29/2004

Series 7

Date: 6/21/1986

Current Firm

ROOT WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROOT WEALTH MANAGEMENT

TRUST BUT VERIFY

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